May 7 2008 | 1:27pm ET
By Donald S. Davidson -- On May 1, the California Department of Corporations announced that it is abandoning—for the time being—a proposal to require certain California investment advisers to register with the Department.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…